Diane M. Sherwin

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2007-03-30
WI	RA	APPROVED	2007-03-30

CA RA
APPROVED

Since 2007-03-30
WI RA
APPROVED

Since 2007-03-30

Branch Locations

17335 Golf Parkway Suite 525, Brookfield, WI 53045 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Brookfield	WI	07/2013	Present

07/2013 → Present

Ubs Financial Services Inc

Brookfield, WI

Previous Registrations

2005-09-21 → 2006-11-01

Morgan Stanley Dw Inc.

Thousand Oaks, CA

Thousand Oaks, CA

Other Businesses

1) Elmbrook School Board/ investment related?: no / 3555 North Calhoun Road, Brookfield, WI, 53005/ Educational Establishment/ School board members are in charge of representing the community's best interest for the children of Brookfield, WI and Elm Grove, WI. I would review documents presented to the Board by the Elmbrook administration and vote on approval/denial./ start date: 4/1/2022

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-09-20

S66 Uniform Combined State Law Examination

2005-09-20

Other Names

Diane Marie Sherwin

View on SEC IAPD